Open Meeting Agenda

Friday, October 13, 2023

ITEM 1: Reporting of Securities Loans

OFFICE: Division of Trading and Markets

STAFF: Haoxiang Zhu, Andrea Orr, David Saltiel, Carol McGee, Josephine Tao, Elizabeth Sandoe, Joan Collopy, James Curley, Theresa Hajost, Elizabeth Van Derslice, Roland Lindmayer, Brendan McLeod.

The Commission will consider whether to adopt a rule under the Securities Exchange Act of 1934 (“Exchange Act”) to increase the transparency and efficiency of the securities lending market.

For further information, please contact Elizabeth Sandoe in the Division of Trading and Markets at (202) 551-5500.

ITEM 2: Short Position and Activity Reporting

OFFICE: Division of Trading and Markets

STAFF: Haoxiang Zhu, Andrea Orr, David Saltiel, Carol McGee, Josephine Tao, Timothy M. Riley, Patrice M. Pitts, James Curley, Jessica Kloss, Roland Lindmayer, Brendan McLeod.

The Commission will consider whether to adopt a rule under the Securities Exchange Act of 1934 (“Exchange Act”) that is designed to provide greater transparency to investors and market participants by increasing the public availability of short sale-related data and whether to approve a proposed amendment to the national market system plan governing the consolidated audit trail (“CAT”) created pursuant to the Exchange Act to require a CAT reporting firm that is reporting short sales to indicate whether such firm is asserting use of the bona fide market making exception under Rule 203(b) of Regulation SHO.

For further information, please contact Timothy M. Riley in the Division of Trading and Markets at (202) 551-5500.